A complaint filed by the Staff of the Arkansas Securities Department against an investment adviser and an investment adviser representative for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
Arbirate, LLC
01/12/2021
A request for a cease and desist order concerning the fraudulent and unregistered broker-dealer activity in the offer and sale of unregistered securities in Arkansas.
LEGALBITCOINMINING.COM
10/21/2020
A request for a cease and desist order concerning the fraudulent and unregistered broker-dealer and investment adviser activity in the offer and sale of unregistered securities in Arkansas.
VEKX Global, LLC
07/08/2020
A request for cease and desist order concerning the fraudulent and unregistered investment adviser activity and fraud in the offer or sale of securities in Arkansas.
Kuettel Capital, LLC
06/23/2020
Request for an order summarily and immediately suspending the registration of Kuettel Capital, LLC as an investment adviser and the registration of Adam J. Kuettel as an investment adviser representative of Kuettel Capital, LLC.
Mark Baxter a/k/a Mark Morrow
06/17/2020
A request for cease and desist order concerning fraudulent and unregistered investment adviser activity and fraud in the offer or sale of securities in Arkansas.
Andrew S. Lee
06/04/2020
Request for cease and desist order concerning acting as an unregistered investment adviser and securities fraud.
John C. Hamilton
05/29/2020
A complaint filed by the Staff of the Arkansas Securities Department against John C. Hamilton for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
McGehee Capital Management, Inc. and Stewart Bruce McGehee
04/10/2020
A complaint filed by the Staff against Stewart McGehee and McGehee Capital Management, Inc. concerning violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.